Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
BUSINESS UNIT OVERVIEW
The GS Bank Compliance team provides compliance coverage and support to the Bank and establishes the framework for identifying, assessing, controlling, measuring, monitoring and reporting compliance risks across the Bank. GS Bank Compliance is an independent control function that reports to the head of Bank Holding Company Compliance, a group within GS Global Compliance. The primary objective of GS Bank Compliance is the management of compliance risk by assisting Bank businesses in complying with laws, regulations and internal policies and procedures. The objective is executed through a comprehensive program that includes policies and procedures, risk assessments, surveillance, monitoring and testing, training, and management reporting. GS Bank Compliance works closely with the Business, Operations and Technology, as well as other groups within the Firm, in the development, maintenance, and enhancement of surveillance and monitoring controls.
The role of the Securities-Based Lending Compliance Officer is to build and promote a strong compliance program that ensures ongoing compliance with regulations and firm policies governing securities-based lending to clients of the firm and clients of third-party broker dealers. The Compliance Officer will work closely with colleagues in GS Bank Compliance and Bank Holding Company Compliance to execute the compliance risk management program as described below.
The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.
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Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.